Advisers on the Move

Never miss a move. The industry's only comprehensive database of financial advisers and brokers changing firms. View over a decade of recruiting activity at wirehouses, regional brokerages, RIAs and independent broker-dealers.

Considering changing firms, making a new hire or exploring an acquisition? Visit the Adviser Center.

Latest moves

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Adviser(s) Firm joining Firm leaving AUM ($M) Date
Mario Christopher FrattoWells Fargo Clearing Services, LLCMerrill Lynch, Pierce, Fenner & Smith Incorporated07-31-2019
Sandra Liliana EspinelWells Fargo Clearing Services, LLCJ.P. Morgan Securities LLC03-20-2019
Brian Joseph BelloWells Fargo Clearing Services, LLCMorgan Stanley$4402-20-2019
Brian P ScanlonWells Fargo Clearing Services, LLCMorgan Stanley$15002-20-2019
Sarah V ManWells Fargo Clearing Services, LLCMorgan Stanley$102-20-2019
Francesjoy Abuel CaldwellWells Fargo Clearing Services, LLCJ.P. Morgan Securities LLC10-11-2018
Patrick PiccirilliWells Fargo Clearing Services, LLCCitizens Securities, Inc.$107-20-2018
Edwin Raul SilvaWells Fargo Clearing Services, LLCJ.P. Morgan Securities LLC06-14-2018
William Francis Schaeneman Jr.Wells Fargo Clearing Services, LLCMorgan Stanley$5006-01-2018
Thomas Xavier WaltonWells Fargo Clearing Services, LLCCitizens Securities, Inc.$15003-29-2018
Kevin Michael FlynnWells Fargo Clearing Services, LLCCeros Financial Services, Inc.$15001-10-2018
Nicole Alexis HigginsWells Fargo Clearing Services, LLCAmeriprise Financial Services, Inc.$112-05-2017
George LombardiWells Fargo Clearing Services, LLCUBS Financial Services Inc.$10009-29-2017
Stephen BenincasaWells Fargo Clearing Services, LLCUBS Financial Services Inc.$15009-29-2017
David Adam RookasinWells Fargo Clearing Services, LLCUBS Financial Services Inc.$5008-15-2017
Jonathan Richard LakeWells Fargo Clearing Services, LLCMorgan Stanley$1008-04-2017
Sviatlana V. MaslavaWells Fargo Clearing Services, LLCMorgan Stanley04-04-2017
Bevin Kimberly NealonWells Fargo Clearing Services, LLCMerrill Lynch, Pierce, Fenner & Smith Incorporated$15003-24-2017
Victor Alexander JosephWells Fargo Clearing Services, LLCLPL Financial LLC10-06-2016
Marilyn Diane PozzutoWells Fargo Clearing Services, LLCUBS Financial Services Inc.09-21-2016
Marcus Layne WackerWells Fargo Clearing Services, LLCSecurities America, Inc.$2509-20-2016
Lisa LagoshWells Fargo Clearing Services, LLCMerrill Lynch, Pierce, Fenner & Smith Incorporated07-27-2016
John Thomas KaneWells Fargo Clearing Services, LLCPeople's Securities, Inc.07-19-2016
David Wilson DrullardWells Fargo Clearing Services, LLCRBC Capital Markets, LLC$1006-02-2016
John George Rotando Jr.Wells Fargo Clearing Services, LLCMorgan Stanley04-29-2016
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Showing 1 to 25 of 146 entries

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Disclaimer & Methodology: The InvestmentNews Advisers on the Move database is designed to capture all recruiting activity of retail financial advisers/teams of advisers as they move from one firm to another. The activity recorded within the database comes from a number of sources, including InvestmentNews and other media reports; press releases; direct submissions that have been reviewed by InvestmentNews; and regulatory filings. To qualify as a move, no more than 60 days can have elapsed between the date an adviser/team leaves one firm and the date they join another. Any adviser registration changes that came as a result of merger & acquisition activity are not recorded as moves in the database. Finally, please note that all AUM data is user-submitted and is not audited by InvestmentNews or any regulatory agency. When AUM data is unavailable, a “ — “ is listed in the record’s AUM field entry. All data and information is the property of InvestmentNews LLC and is protected by copyright and other intellectual property laws. All rights are reserved by InvestmentNews LLC. Data may only be viewed on InvestmentNews.com and can not be resold, republished, redistributed, sublicensed, or copied for any other use without the permission of InvestmentNews LLC.

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